Arlyn P. Nelson
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Arlyn Philip Nelson, who also goes by Arlyn Phillip Nelson, was a registered financial professional .
Arlyn is a previously registered financial professional and started their career in finance in 1981. Arlyn had worked at 9 firms and has passed the Series 63, Series 65, Series 1 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 1, 2021 - December 31, 2021
TRIAD INVESTMENT MANAGEMENT
March 27, 2012 - November 30, 2021
NELSON FINANCIAL MANAGEMENT, LLC
February 28, 2012 - April 2, 2012
CETERA ADVISORS LLC
February 28, 2012 - April 2, 2012
CETERA ADVISORS LLC
August 25, 2011 - February 28, 2012
PACIFIC WEST FINANCIAL CONSULTANTS INC
August 12, 2011 - February 28, 2012
PACIFIC WEST SECURITIES, INC.
September 14, 1994 - June 23, 2011
LPL FINANCIAL LLC
August 1, 1994 - June 23, 2011
LPL FINANCIAL LLC
May 30, 1990 - August 13, 1994
NORTH AMERICAN MANAGEMENT, INC.
April 11, 1985 - May 9, 1990
CETERA WEALTH SERVICES, LLC
January 31, 1983 - August 9, 1985
GODWINS SECURITIES, INC.
October 22, 1981 - October 31, 1983
PACIFIC WEST SECURITIES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 1
Date: 11/25/1975
Registered Representative ExaminationCurrent Firm
TRIAD INVESTMENT MANAGEMENT
CRD#: 297699 / SEC#: 801-114425
Contact information
Regulatory assets under management
| Total Number of Accounts | 2,747 |
| AUM (Assets Under Management) | $ 700,542,383 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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